CRD #120708 · FINRA BrokerCheck + SEC IAPD

Maxim Group LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Maxim Group LLC ranks #139 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #28 of 868 on the same disclosure sort used on the state browse page. Maxim Group LLC carries 37 BrokerCheck disclosures across 7 branch offices - heavy load for a small firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
7
branch offices
37
disclosures
#139 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 120708 Maxim Group LLC

Maxim Group LLC · Grade F · 37 disc · 5.29/office · Small firm

  • CRD 120708
  • GRADE F
  • DISC 37
  • REG 36
  • ARB 1
  • CIV 0
  • BRANCH 7
  • PER-OFF 5.29
  • RANK #139 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: GTS Securities LLC (5.43 disc/office)

GTS Securities LLC5.43Colonial Securities, Inc.5.50Liquidnet, Inc.5.50Maxim Group LLC (this)5.29
Disclosures per office among small firm peers (lower is cleaner)

Maxim Group LLC ranks #139 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.29 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

7 offices

FINRA: Medium firm

Total disclosures

37 events

On FINRA BrokerCheck

Regulatory events

36 actions

97% of all disclosures

Disclosures per office

5.29 per office

37 ÷ 7 offices

Disclosure Intensity

Disclosures per branch office, the firm's disclosure load relative to its operating footprint.

Maxim Group LLC - disclosures per branch office 100.0%
Typical multi-office firm

Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 36
Arbitrations 1
Civil Events 0
Total 37

Counts for Maxim Group LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 36 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY, 10022
Formed
04/11/2002
State of Formation
New York
CRD Number
120708
SEC Number
65337

Regulator-heavy mix

Maxim Group LLC in the heavier-disclosure third

Maxim Group LLC carries 37 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#139 of 20,055). Regulator-initiated events are 97% of the book (36 regulatory / 1 arbitration / 0 civil).

97% of Maxim Group LLC's 37 disclosures are regulator-initiated (36 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Maxim Group LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 4.23× state average

Maxim Group LLC sits above the New York disclosure average

Maxim Group LLC reports 37 BrokerCheck disclosures, 4.23× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Maxim Group LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Maxim Group LLC ranks #139 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #28 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Maxim Group LLC?
A grade of F reflects Maxim Group LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 37 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Maxim Group LLC have?
Maxim Group LLC has 37 total FINRA disclosures, including 36 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Maxim Group LLC?
Maxim Group LLC operates 7 branch offices and is classified by FINRA as a medium firm, registered in NY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Maxim Group LLC's disciplinary record?
You can verify Maxim Group LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 120708. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Maxim Group LLC's 37 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Maxim Group LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Maxim Group LLC carries 37 disclosures across 7 branch offices (about 5.29 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Maxim Group LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.